As we navigate these unprecedented times, we wanted to share our thoughts about the COVID-19 crisis, and provide some constructive…

Updated March 26, 2020 – On Friday, March 13, 2020, the SEC announced conditional relief for the due dates of…

Clients often ask what the benefits are of registering a trademark. There are many benefits to registering a trademark in…

This is our annual letter briefly reviewing various issues that our investment adviser clients should consider over the next few…

Last October I spoke at a compliance conference on the subject of SEC investment adviser examinations.  The article below is…

FINRA has updated its Rules 5130 and 5131, which govern allocations of “new issues,” effective January 1, 2020.  Broadly speaking,…

Last week the SEC’s Division of Enforcement published its Annual Report for the fiscal year ended September 30, 2019 (available…

Earlier this year, the National Futures Association (NFA) announced that individuals registered as associated persons (APs) of NFA members that…

Shartsis Friese LLP recently commented on the Securities and Exchange Commission’s Concept Release, Harmonization of Securities Offering Exemptions.  The letter…

The Cayman Islands Data Protection Law, 2017 (the “DPL”) was adopted on March 27, 2017.  Similar to the European Union’s…

The Department of the Treasury recently announced that certain U.S. persons must complete a survey of foreign ownership of U.S….

The 18th annual Help For Children Gala event for the San Francisco Chapter of Help For Children (aka, Hedge Funds…

On June 5, 2019, the Securities and Exchange Commission (“SEC”) released an interpretation to reaffirm and clarify certain aspects of…

The California Consumer Privacy Act (“CCPA”) is a broad consumer privacy law that is effective as of January 1, 2020,…

The recent publication of the SEC Division of Enforcement’s 2018 Annual Report provided an opportunity to look back over the…

Securing a federal trademark registration is never a guarantee, even when the applicant has an incontestable registration for a very…

This is our annual letter briefly reviewing various issues that our investment adviser clients should consider over the next few…

Start-up companies that are looking to raise funds will often need to answer questions regarding the intellectual property ownership rights…

The District Court for the Northern District of California recently issued an order awarding partial attorneys’ fees to a defendant…

Our clients have expressed significant interest in the new “Qualified Opportunity Zone” (“Qualified Zone”) tax incentives created by The Tax…

In mid-September, the U.S. Senate, in a rare bipartisan effort, unanimously passed the Music Modernization Act (the “MMA”), implementing a…

On April 8, 2016, the Department of Labor (the “DOL”) issued a new regulation that expanded the definition of an…

The General Data Protection Regulation (GDPR) is a new data privacy and security initiative adopted by the EU that is…

The two year anniversary of the enactment of The Defend Trade Secrets Act of 2016 (the “DTSA”) will occur next…

Given the recent market volatility, we thought we would remind you about NAV decline triggers in your agreements with counterparties. …